Rule At least monthly, a Dealer Member must reconcile internal accounts. A department manager or another appropriate manager must review the reconciliation. Guidance/Notices 10/14/21 Service arrangements between Dealer Members and Portfolio Managers Type: Rules Notice Subtype: Guidance Note 10/14/21 Auditor’s segregation report Type: Rules Notice Subtype: Guidance Note 10/14/21 Segregation of RRSP Securities Type: Rules Notice Subtype: Guidance Note History There is no history log for this rule. Disciplinary History There is no history log for this rule. Jump to another section in Rule 4400 4401. Introduction 4402. Introduction 4403. Written safekeeping agreement 4404. Securities free from encumbrance 4405. Procedures to keep securities apart 4406. Identifying securities held for safekeeping in records 4407. Release of securities held in safekeeping 4420. Introduction 4421. Safeguarding client and Dealer Member cash and securities 4422. Receipt and delivery of securities 4423. Restricting access to securities 4424. Clearing 4425. Protecting securities 4426. How to handle security records 4427. Rules for counting securities 4428. Moving certificates and securities between branches 4429. Transferring securities 4430. Re-organization 4431. Handling dividends and interest 4433. Cash 4450. Introduction 4451. Definitions 4452. Dealer Member must have insurance 4453. Qualified insurance carriers 4454. Foreign insurers 4455. Mail insurance 4456. Financial institution bond 4457. General minimum insurance requirement 4458. Minimum insurance requirement for certain introducing brokers 4459. Double aggregate limit 4460. Calculating minimum insurance requirement and risk adjusted capital provisions 4461. Correction of insufficient coverage 4462. Global financial institution bonds 4463. Notify IIROC of underwriter insurance termination 4464. When insurance ends due to take-over 4465. Notify IIROC of claims 4466. Board of directors review and designation 4467. Executive review 4468. Executive prompt action
10/14/21 Service arrangements between Dealer Members and Portfolio Managers Type: Rules Notice Subtype: Guidance Note